Publications

Showing 1831 to 1840 of 3616 search results.

1831. FCA Final Notice 2014: David John Hobbs [pdf]

      Final notices

      Published: 25/02/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness/propriety in the building societies and investment banks sector. We imposed a prohibition.

1832. FCA Final Notice 2014: HomeServe Membership Limited [pdf]

      Final notices

      Published: 13/02/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

1833. FCA Final Notice 2014: State Street [pdf]

      Final notices

      Published: 31/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 6 and PRIN 7 related to wholesale conduct, unfair treatment of customers in the investment banks sector. We imposed a fine.

1834. FCA Final Notice 2014: Ewan King [pdf]

      Final notices

      Published: 30/01/2014

      Last modified: 19/05/2015

      This final notice refers to breaches of PRIN 1 related to lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

1835. FCA Final Notice 2014: Anthony Verrier [pdf]

      Final notices

      Published: 29/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition.

1836. FCA Final Notice 2014: 7722656 Canada Inc formerly carrying on business as Swift Trade Inc [pdf]

      Final notices

      Published: 24/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of MAR related to market abuse in the trading firms sector. We imposed a fine.

1837. FCA Final Notice 2014: Usman International UK Limited [pdf]

      Final notices

      Published: 13/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation.

1838. FCA Final Notice 2014: Residential Facilities Management Limited [pdf]

      Final notices

      Published: 13/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1839. FCA Final Notice 2014: Paul Bryan Moss trading as IMG Mortgages [pdf]

      Final notices

      Published: 08/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

1840. FCA Final Notice 2014: Drain Claim Limited [pdf]

      Final notices

      Published: 07/01/2014

      Last modified: 07/04/2015

      This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.